Raymond James Financial Services Archives

Rex Securities Law
November 3, 2021
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Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 3, 2021 November 3, 2021

Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records, Gregory C. Collier, Sr. , a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…

ER
November 2, 2021
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Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY

Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 2, 2021 November 2, 2021

Michael Biedny Investigation August 2021- Clarence, NY According to publicly available records, Michael Biedny, a financial advisor who previously was employed by Raymond James Financial Services, Inc., discloses a regulatory event,…

Rex Securities Law
June 23, 2020
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Donald Cox-Raymond James Broker-Discloses Regulatory Event and Customer Dispute-Wyandotte, MI

Donald Cox-Raymond James Broker-Discloses Regulatory Event and Customer Dispute-Wyandotte, MI https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2020 June 23, 2020

June 2020- Wyandotte, MI The FINRA records of Donald Marshall Cox, a broker employed by Raymond James & Associates, Inc. , disclose a regulatory event and a customer dispute. The Financial Industry Regulatory…

Rex Securities Law
November 30, 2018
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Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX

Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 30, 2018 November 30, 2018

November 2018-San Angelo, TX According to publicly available records Cecil Allen Ross , (CRD# 2391047) , a stockbroker who was previously registered with Raymond James Financial Services, Inc., disclose a prior customer dispute . The…

Rex Securities Law
February 15, 2018
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Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2018 March 8, 2019

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 1 pending…

Rex Securities Law
February 11, 2018
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Matthew Werthe-Former Raymond James Broker-Subject of Customer Suits Alleging Fraud & Churning-Murrieta, CA

Matthew Werthe-Former Raymond James Broker-Subject of Customer Suits Alleging Fraud & Churning-Murrieta, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 11, 2018 September 9, 2019

September 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…

Rex Securities Law
May 4, 2017
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Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK

Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 4, 2017 May 4, 2017

May 2017-Norman, OK The FINRA records of Billy Jack Cowan , a former stockbroker who is not currently registered disclose a regulatory event, 2 prior customer disputes, 2 terminations from employment and 8…

Rex Securities Law
February 21, 2017
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Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL

Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 21, 2017 June 13, 2017

February 2017-Boca Raton, FL According to publicly available records Brett S. Murphy , (CRD# 2434384) , a stockbroker who is currently registered with Revere Securities, LLC disclose a pending customer dispute. The Financial Industry Regulatory Authority…